DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Guggenheim Advisors, LLC

Former SEC-registered adviserNew York, New YorkCRD 124435SEC 801-61978IAPD
Latest filing Jan 18, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$722M
reported, Item 5.F
Discretionary
48%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
30
$1.4B gross assets
History
4 filings and snapshots on the tape
RAUM$722M as of Jan 18, 2013
Mar 30, 2012$722M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 43
Private funds30 as of Jan 18, 2013
Mar 30, 201230 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 18, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$45.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
48%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$607M, 11 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$607M for 11 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      29 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Guggenheim Advisors Select Fund II, LPHedge Fund$354M2Mar 30, 2012
      Gpc 83, LLCHedge Fund$134M5Mar 30, 2012
      Guggenheim Portfolio Company X, LLCHedge Fund$97.5M7Mar 30, 2012
      Guggenheim Advisors Select Fund IV, L.P.Hedge Fund$96.0M3Mar 30, 2012
      Guggenheim Partners Equity Opportunity Fund, LPHedge Fund$94.0M2Mar 30, 2012
      Gpc 93, LLCHedge Fund$85.9M1Mar 30, 2012
      Guggenheim Partners Select Multi-Strategy Fund, LPHedge Fund$78.3M4Mar 30, 2012
      Gpc 88, LLCHedge Fund$63.8M5Mar 30, 2012
      Guggenheim Portfolio Company Xi, LLCHedge Fund$58.1M5Mar 30, 2012
      Guggenheim Portfolio Company Xxiii, LLCHedge Fund$52.8M4Mar 30, 2012
      Gpc 75, LLCHedge Fund$44.7M5Mar 30, 2012
      Guggenheim Advisors Select Fund V, LLCHedge Fund$42.1M2Mar 30, 2012
      Gpc 76, LLCHedge Fund$38.5M3Mar 30, 2012
      Gpc Lxiv, LLCHedge Fund$33.6M6Mar 30, 2012
      Gpc 97, LLCHedge Fund$31.7M3Feb 2, 2012
      Guggenheim Advisors Select Fund Vii, LPHedge Fund$24.2M1Mar 30, 2012
      Gpc 66, LLCHedge Fund$23.1M4Mar 30, 2012
      Guggenheim Advisors Liquidity Fund, L.P.Hedge Fund$19.1M2Mar 30, 2012
      Gpc (LP) 2, LLCHedge Fund$6.3M8Mar 30, 2012
      Guggenheim Partners Prism Opportunity Fund, LPHedge Fund$4.1M2Mar 30, 2012
      Gpc 98, LLCHedge Fund$2.5M4Mar 30, 2012
      Guggenheim Portfolio Company Vii, LLCHedge Fund$1.7M6Mar 30, 2012
      Gpc Lviii, LLCHedge Fund$1.5M6Mar 30, 2012
      Guggenheim Partners Prism Fund, LPHedge Fund$1.3M6Mar 30, 2012
      Guggenheim Portfolio Company Xii, LLCHedge Fund$813,2485Mar 30, 2012
      Guggenheim Partners Select State Fund, LPHedge Fund$743,6892Mar 30, 2012
      Guggenheim Partners Prism Fund II, LPHedge Fund$631,0233Mar 30, 2012
      Guggenheim Advisors Select Fund III, LPHedge Fund$368,1654Mar 30, 2012
      Gpc Lix, LLCHedge Fund$287,0967Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • James Michael Christ · Senior Executivecontrol
        since 02/2011 · owns less than 5%
      • Marc Adam Rezak · Chief Compliance Officercontrol
        since 02/2011 · owns less than 5%
      Entity owners
      • Guggenheim Alternative Asset Management, LLC ("Gaam") · Member
        direct · owns 75% or more
      • Consolidated Investment Services, Inc. · Shareholder
        indirect · owns 75% or more of Sammons Equity Alliance, Inc
      • Gp Holdco, LLC · Member
        indirect · owns 75% or more of Gpft Holdco, LLC
      • Gpft Holdco, LLC · Member
        indirect · owns 75% or more of Guggenheim Alternative Asset Management, LLC ("Gaam")
      • Guggenheim Capital, LLC · Member
        indirect · owns 75% or more of Guggenheim Partners, LLC
      • Guggenheim Partners, LLC · Member
        indirect · owns 75% or more of Gp Holdco, LLC
      • Sage Assets, Inc. · Member
        indirect · owns 25% to 50% of Guggenheim Capital, LLC
      • Sammons Enterprises, Inc. · Shareholder
        indirect · owns 75% or more of Consolidated Investment Services, Inc.
      • Sammons Enterprises, Inc. Esot · Shareholder
        indirect · owns 75% or more of Sammons Enterprises, Inc.
      • Sammons Equity Alliance, Inc. · Shareholder
        indirect · owns 75% or more of Sage Assets, Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      • Santa Monica, CA
      • St Louis, MO
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 16.0
        Jul 3, 2012 to Jan 18, 2013
      • BD registered reps · unset to 14.0
        Jul 3, 2012 to Jan 18, 2013
      • Employees · unset to 43.0
        Jul 3, 2012 to Jan 18, 2013
      • State-registered IARs · unset to 0.0
        Jul 3, 2012 to Jan 18, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026